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FINRA Awards for LPL Financial LLC

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Displaying 161-170 out of 440 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0015405/06/2021Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J Sensenig
Respondent(s): STEPHEN BONE
Respondent Lawyers(s): Stephen Alan Bone
Arbitrator(s): Muriel Desloovere
Hearing Site: Memphis, TN
20-0345505/05/2021Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Joseph Stengel
Respondent Lawyers(s): Joseph Steven Stengel
Arbitrator(s): Edward W. Morris
Hearing Site: Wilmington, DE
20-0269404/26/2021Claimant(s): Nicholas Losinno
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): LPL Financial LLC, Thomas Fross
Respondent Lawyers(s): Tracey Salomon-Smith
Arbitrator(s): Jim Geiger, Barry Goldman, James T. Carney
Hearing Site: Pittsburgh, PA
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20-0280604/16/2021Claimant(s): Vincent Camarda
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
20-0320604/13/2021Claimant(s): Paul Kiker
Claimant Lawyers(s): Stephen D. Councill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Harry G. Mason, Philip Michael Moran, James R Stewart
Hearing Site: Atlanta, GA
20-0221604/08/2021Claimant(s): Mark Dutram
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
20-0271004/08/2021Claimant(s): Howard Saxauer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Las Vegas, NV
20-0302404/06/2021Claimant(s): John Orito
Claimant Lawyers(s): Erika Binnix
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
19-0286704/05/2021Claimant(s): Michael Reis
Claimant Lawyers(s): Sheilah R. McLaughlin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Michael L. Lyons, Gregory Hunter Mathews, John J. Mager
Hearing Site: Augusta, ME
20-0270904/02/2021Claimant(s): Stephen Bush
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC

440 Results

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